Client Rights & Protection

Regulatory Controls for Your Protection:
KPG Capital Partners, LLC is a registered broker-dealer and is subject to the rules and regulations of the Securities and Exchange Commission (SEC). KPG is also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). For more information, please visit www.sec.gov, www.finra.org, and www.sipc.org.

KPG and its representatives are in compliance with the current registration and/or notice filing requirements imposed upon broker-dealers by those states in which KPG maintains the required number of clients or investors or representatives. KPG may only transact business in those states in which it is registered, or qualifies for an applicable exemption or exclusion from such state’s registration requirements. KPG will not render investment advice to any individual or company unless KPG is first registered in the client’s or investor’s state of residence or unless KPG satisfies an applicable exemption or exclusion from such state’s registration requirements.

General Information:
KPG’s website is limited to the dissemination of general information pertaining to its services. It is for informational purposes only and so should not be construed by a consumer and/or prospective client or investor as a solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.

Complaints:
Complaints concerning services provided by KPG may be directed to:

Third Party Websites:

KPG provides access to information, services, and products through websites that are owned or operated by other companies (‘third party websites”). We have carefully chosen a number of other companies to provide information, services, and products, in hopes of bringing you the value and service you expect from KPG. You can identify that you are at a third party’s website instead of KPG’s website when you have used a hyperlink which takes you to a new location, and the website address of the linked site appears in the “netsite” or “address” box at the top of your browser, or when a new browser window is opened, in which the new third party website appears.

We have done our best to provide you with information, services, and products from trustworthy third party companies; however, KPG cannot endorse, approve or guarantee information, products services or recommendations provided at any third party’s website. It is provided solely for the purpose of convenience. Because we may not always know when information on a third party website changes, KPG is not responsible for the content or accuracy of any third party website. KPG will not be responsible for any loss or damage of any sort resulting from the use of a third party web link, nor will it be liable for any failure of products or services advertised or provided on these third parties’ websites.

When you visit a third party website by using a hyperlink from KPG’s site, our Privacy Policy will no longer protect you. The data collection, use, and protection provided by the linked website may differ from those of KPG. You should familiarize yourself with the privacy policy and security practices of any third party linked website you visit. Those are the policies and practices that will apply to your use of the third party linked website, NOT KPG’s policies and practices. Because the privacy and information security practices may be different than KPG’s, you may be at greater risk to computer viruses, malicious code, or other defects in websites that may affect your computer.